Charles Evans Roe

Name: KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 06/01/1998 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: POTTER INSURANCE ASSOCIATES, LLC POSITION: Managing member, co-owner NATURE: buy-sell agreement INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/17/2018 ADDRESS: 1816 Front Street, Suite 220, Durham NC 27705, United States DESCRIPTION: Contribute premiums to a life insurance policy for buy-sell, continuity purposes. Name: CHARLIE POTTER & ASSOCIATES DBA THE POTTER FINANCIAL GROUP POSITION: President, Sole Owner NATURE: Prior DBA in process of termination INVESTMENT RELATED: Yes # OF HOURS: 12 SECURITIES TRADING HOURS: 12 START DATE: 04/01/1995 ADDRESS: 1816 Front Street, Suite 220, Durham NC 27705, United States DESCRIPTION: Wind down and terminate this corporation. Name: BFG FINANCIAL ADVISORS POSITION: Lead Advisor NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 01/01/2026 ADDRESS: 16 Greenmeadow Dr., Ste 201, Timonium MD 21093, United States DESCRIPTION: Client meetings & financial planning, business development and support of operations and team members. Name: BROTMAN FINANCIAL GROUP POSITION: Advisor/Shareholder NATURE: Insurance INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 05/16/2018 ADDRESS: 16 Greenmeadow Dr. Suite 201, Timonium MD 21093, United States DESCRIPTION: Lead Advisor responsibilities which include client meetings, e-mails, phone calls , and training other staff members. Name: EXCHANGE CLUB OF GREATER DURHAM POSITION: Board Member NATURE: Civic Group INVESTMENT RELATED: No # OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 07/01/2025 ADDRESS: 3603 University Drive, Durham NC 27707, United States DESCRIPTION: Support and contribute time to the welfare of the club Name: BFG ESTATE & TAX SERVICES POSITION: Intermediary NATURE: Estate document drafting INVESTMENT RELATED: No # OF HOURS: 1 SECURITIES TRadING HOURS: 1 START DATE: 01/01/2025 ADDRESS: 16 Greenmeadow Dr, Suite 201, Timonium MD 21093, United States DESCRIPTION: We send the client a link to their portal for them to enter their information and answer questions regarding estate drafting services. Once complete the client receives their estate documents and instructions to notarize. We will keep them in our contact management system for marketing outreach efforts. We will provide the tools, but not render advice unless they engage in a financial planning relationship which will be through Kestra Advisory Services. Name: AGING WELL RETIREMENT SERVICES LLC POSITION: Sole owner NATURE: Entity formed to publish Aging Well is a Family affair. INVESTMENT RELATED: No # OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 06/18/2024 ADDRESS: 411 Knotts Valley Lane, Cary NC 27519, United States DESCRIPTION: Manage, publish and account for income & expenses of book. Provide advice in area of aging & caregiving with consulting fees paid to Kestra via financial planning consulting agreements. I am also a certified community presenter of the Five Wishes from Aging with Dignity where I will discuss the document in how it can be a conversation starter for families who want to document their wishes if incapacitated or at end of life. Both the presentation and document will be submitted for advertising approval.